New IDS Journal – 9 Papers in Open Government

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The new IDS Bulletin is out. Edited by Rosemary McGee and Duncan Edwards, this is the first open access version of the well-known journal by the Institute of Development Studies. It brings eight new studies looking at a variety of open government issues, ranging from uptake in digital platforms to government responsiveness in civic tech initiatives. Below is a brief presentation of this issue:

Open government and open data are new areas of research, advocacy and activism that have entered the governance field alongside the more established areas of transparency and accountability. In this IDS Bulletin, articles review recent scholarship to pinpoint contributions to more open, transparent, accountable and responsive governance via improved practice, projects and programmes in the context of the ideas, relationships, processes, behaviours, policy frameworks and aid funding practices of the last five years. They also discuss questions and weaknesses that limit the effectiveness and impact of this work, offer a series of definitions to help overcome conceptual ambiguities, and identify hype and euphemism. The contributions – by researchers and practitioners – approach contemporary challenges of achieving transparency, accountability and openness from a wide range of subject positions and professional and disciplinary angles. Together these articles give a sense of what has changed in this fast-moving field, and what has not – this IDS Bulletin is an invitation to all stakeholders to take stock and reflect.

The ambiguity around the ‘open’ in governance today might be helpful in that its very breadth brings in actors who would otherwise be unlikely adherents. But if the fuzzier idea of ‘open government’ or the allure of ‘open data’ displace the task of clear transparency, hard accountability and fairer distribution of power as what this is all about, then what started as an inspired movement of governance visionaries may end up merely putting a more open face on an unjust and unaccountable status quo.

Among others, the journal presents an abridged version of a paper by Jonathan Fox and myself on digital technologies and government responsiveness (for full version download here).

Below is a list of all the papers:

Rosie McGee, Duncan Edwards
Tiago Peixoto, Jonathan Fox
Katharina Welle, Jennifer Williams, Joseph Pearce
Miguel Loureiro, Aalia Cassim, Terence Darko, Lucas Katera, Nyambura Salome
Elizabeth Mills
Laura Neuman
David Calleb Otieno, Nathaniel Kabala, Patta Scott-Villiers, Gacheke Gachihi, Diana Muthoni Ndung’u
Christopher Wilson, Indra de Lanerolle
Emiliano Treré

 

World Development Report 2016: Digital Dividends

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The World Development Report 2016, the main annual publication of the World Bank, is out. This year’s theme is Digital Dividends, examining the role of digital technologies in the promotion of development outcomes. The findings of the WDR are simultaneously encouraging and sobering. Those skeptical of the role of digital technologies in development might be surprised by some of the results presented in the report. Technology advocates from across the spectrum (civic tech, open data, ICT4D) will inevitably come across some facts that should temper their enthusiasm.

While some may disagree with the findings, this Report is an impressive piece of work, spread across six chapters covering different aspects of digital technologies in development: 1) accelerating growth, 2) expanding opportunities, 3) delivering services, 4) sectoral policies, 5) national priorities, 6) global cooperation. My opinion may be biased, as somebody who made some modest contributions to the Report, but I believe that, to date, this is the most thorough effort to examine the effects of digital technologies on development outcomes. The full report can be downloaded here.

The report draws, among other things, from 14 background papers that were prepared by international experts and World Bank staff. These background papers serve as additional reading for those who would like to examine certain issues more closely, such as social media, net neutrality, and the cybersecurity agenda.

For those interested in citizen participation and civic tech, one of the papers written by Prof. Jonathan Fox and myself – When Does ICT-Enabled Citizen Voice Lead to Government Responsiveness? – might be of particular interest. Below is the abstract:

This paper reviews evidence on the use of 23 information and communication technology (ICT) platforms to project citizen voice to improve public service delivery. This meta-analysis focuses on empirical studies of initiatives in the global South, highlighting both citizen uptake (‘yelp’) and the degree to which public service providers respond to expressions of citizen voice (‘teeth’). The conceptual framework further distinguishes between two trajectories for ICT-enabled citizen voice: Upwards accountability occurs when users provide feedback directly to decision-makers in real time, allowing policy-makers and program managers to identify and address service delivery problems – but at their discretion. Downwards accountability, in contrast, occurs either through real time user feedback or less immediate forms of collective civic action that publicly call on service providers to become more accountable and depends less exclusively on decision-makers’ discretion about whether or not to act on the information provided. This distinction between the ways in which ICT platforms mediate the relationship between citizens and service providers allows for a precise analytical focus on how different dimensions of such platforms contribute to public sector responsiveness. These cases suggest that while ICT platforms have been relevant in increasing policymakers’ and senior managers’ capacity to respond, most of them have yet to influence their willingness to do so.

You can download the paper here.

Any feedback on our paper or models proposed (see below, for instance) would be extremely welcome.

unpacking

unpacking user feedback and civic action: difference and overlap

I also list below the links to all the background papers and their titles

Enjoy the reading.

Praising and Shaming in Civic Tech (or Reversed Nudging for Government Responsiveness) 

The other day during a talk with researcher Tanya Lokot I heard an interesting story from Russia. Disgusted with the state of their streets, activists started painting caricatures of government officials over potholes.

 

In the case of a central street in Saratov, the immediate response to one of these graffiti was this:  

 

Later on, following increased media attention – and some unexpected turnarounds – the pothole got fixed.

That reminded me of a recurrent theme in some conversations I have, which refers to whether praising and shaming matters to civic tech and, if so, to which extent. To stay with two classic examples, think of solutions such as FixMyStreet and SeeClickFix, through which citizens publically report problems to the authorities.

Considering government takes action, what prompts them to do so? At a very basic level, three hypothesis are possible:

1) Governments take action based on their access to distributed information about problems (which they supposedly are not aware of)

2) Governments take action due to the “naming and shaming” effect, avoiding to be publically perceived as unresponsive (and seeking praise for its actions)

3) Governments take action for both of the reasons above

Some could argue that hypothesis 3 is the most likely to be true, with some governments leaning more towards one reason to respond than others. Yet, the problem is that we know very little about these hypotheses, if anything. In other words – to my knowledge – we do not know whether making reports through these platforms public makes any difference whatsoever when it comes to governments’ responsiveness. Some might consider this as a useless academic exercise: as long as these tools work, who cares? But I would argue that the answer that questions matters a lot when it comes to the design of similar civic tech initiatives that aim to prompt government to action.

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Let’s suppose that we find that all else equal governments are significantly more responsive to citizen reports when these are publically displayed. This would have importance both in terms of process and technological design. In terms of process, for instance, civic tech initiatives would probably be more successful if devoting part of their resources to amplify the visibility of government action and inaction (e.g. through local media). Conversely, from a technological standpoint, designers should devote substantive more effort on interfaces that maximizes praising and shaming of governments based on their performance (e.g. rankings, highlighting pending reports). Conversely, we might find that publicizing reports have very little effect in terms of responsiveness. In that case, more work would be needed to figure out which other factors – beyond will and capacity – play a role in government responsiveness (e.g. quality of reports).   

Most likely, praising and shaming would depend on a number of factors such as political competition, bureaucratic autonomy, and internal performance routines. But a finer understanding of that would not only bear an impact on the civic tech field, but across the whole accountability landscape. To date, we know very little about it. Yet, one of the untapped potential of civic technology is precisely that of conducting experiments at lowered costs. For instance, conducting randomized controlled trials on the effects on the publicization of government responsiveness should not be so complicated (e.g effects of rankings, amplifying visibility of unfixed problems). Add to that analysis of existing systems’ data from civic tech platforms, and some good qualitative work, and we might get a lot closer at figuring out what makes politicians and civil servants’ “tick”.

Until now, behavioral economics in public policy has been mainly about nudging citizens toward preferred choices. Yet it may be time to start also working in the opposite direction, nudging governments to be more responsive to citizens. Understanding whether praising and shaming works (and if so, how and to what extent) would be an important step in that direction.

***

Also re-posted on Civicist.

A Brilliant Story of Participation, Technology and Development Outcomes

Brazilian electronic voting machine

A major argument for democratic governance is that more citizen participation leads to better outcomes through an improved alignment between citizens’ preferences and policies. But how does that play out in practice? Looking at the effects of the introduction of electronic voting (EV) in Brazil, a paper by Thomas Fujiwara (Princeton) sheds light on this question. Entitled “Voting Technology, Political Responsiveness, and Infant Health: Evidence from Brazil” (2013), it is one of the best papers I’ve read when it comes to bringing together the issues of technology, participation and development outcomes.

Below is an extract from the paper:

This paper provides evidence on how improving political participation can lead to better service outcomes. It estimates the effects of an electronic voting, or EV, technology in reducing a mundane, but nonetheless important, obstacle to political participation: difficulty in operating ballots. The results indicate that EV caused a large de facto enfranchisement of less educated voters, which lead to the election of more left-wing state legislators, increased public health care spending, utilization (prenatal visits), and infant health (birth weight).

While filling out a ballot may be a trivial task to educated citizens in developed countries, the same is not true in Brazil, where 23% of adults are “unable to read or write a simple note” and 42% did not complete the 4th grade. Moreover, before 1994 Brazilian paper ballots required voters to write a candidate’s name or electoral number and involved only written instructions. This resulted in a substantial quantity of error-ridden and blank ballots being cast, generating a large number of residual votes (not assigned to a candidate and discarded from the tallying of results).

In the mid-1990’s, the Brazilian government developed an EV technology as a substitute for paper ballots. While its introduction aimed at reducing the time and costs of voting counting, other features of the technology, such as the use of candidates’ photographs as visual aids, the use of “error” messages for voters about to cast residual votes, and guiding the voting process step by step, facilitated voting and reduced errors.

(…) Estimates indicate that EV reduced residual voting in state legislature elections by a magnitude larger than 10% of total turnout. Such effect implies that millions of citizens who would have their votes go uncounted when using a paper ballot were de facto enfranchised. Consistent with the hypothesis that these voters were more likely to be less educated, the effects are larger in municipalities with higher illiteracy rates. Moreover, EV raises the vote shares of left-wing parties.

The paper will go on to argue that this enfranchisement of the less educated citizenry did indeed affect public policy. (…) I focus on  state government spending, in particular on an area that disproportionately affects the less educated: health care. Poorer Brazilians rely mostly on a public-funded system for health care services, which richer voters are substantially more likely to use the co-existing private services. The less educated have thus relatively stronger preferences for increased public health care provision, and political economy models predict that increasing their participation leads to higher public spending in this area.

Using data from birth records, I also find that EV raised the number of prenatal visits by women to health professionals and lowered the prevalence of low-weight births (below 2500g), and indicator of newborn health. Moreover, these results hold only for less educated mothers, and I find no effects for the more educated, supporting the interpretation that EV lead to benefits specifically targeted at poorer populations.

Fujiwara’s findings are great for a number of reasons, some of which I highlight below:

  • Participation and policy preferences: The findings in this paper support the argument for democratic governance, showing that an increase in the participation of poorer segments of society ultimately leads to better service results.
  • Institutions and context: The paper indirectly highlights how innovations are intrinsically linked to institutions and their context. For instance, as noted by Fujiwara, “the effect of EV is larger in the proportional representation races where a paper ballot requires writing down the name or number of the candidate (lower chamber of congress and state legislature) than in the plurality races where a paper ballot involves checking a box (senate, governor, and president).” In other words, the electoral system matters, and the Brazilian outcomes would be most likely to be replicated in countries with similar electoral processes (and levels of ballot complexity), rather than those adopting plurality voting systems. (If I remember well, this was one of the findings of a paper by Daniel Hidalgo (unpublished),  comparing the effects of e-voting in Brazil and India: the effects of e-voting for elections in the lower house in India [plurality vote] were smaller than in Brazil). In a similar vein, the effects of the introduction of similar technology would probably be lower in places with higher levels of educational attainment within poor segments of society.
  • Technology and elections: Much of the work on technology and accountability evolves around non-electoral activities that are insulated from existing processes and institutions, which tends to mitigate the chances of real-life impact. And, whether you like it or not, elections remain one of the most pervasive and consequential processes involving citizen participation in public affairs. There seems to be untapped potential for the use of technology to leverage electoral processes (beyond partisan campaigns). Finding ways to better inform voters (e.g. voting advice applications) and to lower the barriers for entry in electoral competition (why not a Rock the Vote for unlikely candidates?) are some of the paths that could be further explored. Fujiwara’s paper show how technology can enhance development outcomes by building on top of existing institutions.
  • Technology and inclusion: For a number of people working with development and public policy, a major concern with technology is the risk of exclusion of  marginalized groups. While that is a legitimate concern, this paper shows the opposite effect, reminding us that it is less about technology and more about the use that one makes of it.
  • Unintended effects: The use of technology in governance processes is full of stories of unintended effects. Most of them are negative ones, epitomized by the case of digitization of land records in Bangalore [PDF]: instead of transparency and efficiency, it led to increased corruption and inefficiencies. Fujiwara’s paper shows that unexpected benefits are also possible. While the primary goal of  the introduction of e-voting in Brazil was related to costs and time, another major unanticipated impact was better service outcomes. If unintended effects are often overlooked by practitioners and researchers alike, this paper highlights the need to look for effects beyond those originally intended.

All of these points, added to the methodological approach adopted by Fujiwara, are good reasons to read the paper. You can find it here [PDF].

New Book on 25 Years of Participatory Budgeting

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A little while ago I mentioned the launch of the Portuguese version of the book organized by Nelson Dias, “Hope for Democracy: 25 Years of Participatory Budgeting Worldwide”.

The good news is that the English version is finally out. Here’s an excerpt from the introduction:

This book represents the effort  of more than forty authors and many other direct and indirect contributions that spread across different continents seek to provide an overview on the Participatory Budgeting (PB) in the World. They do so from different backgrounds. Some are researchers, others are consultants, and others are activists connected to several groups and social movements. The texts reflect this diversity of approaches and perspectives well, and we do not try to influence that.

(….)

The pages that follow are an invitation to a fascinating journey on the path of democratic innovation in very diverse cultural, political, social and administrative settings. From North America to Asia, Oceania to Europe, from Latin America to Africa, the reader will find many reasons to closely follow the proposals of the different authors.

The book  can be downloaded here [PDF]. I had the pleasure of being one of the book’s contributors, co-authoring an article with Rafael Sampaio on the use of ICT in PB processes: “Electronic Participatory Budgeting: False Dilemmas and True Complexities” [PDF].

While my perception may be biased, I believe this book will be a major contribution for researchers and practitioners in the field of participatory budgeting and citizen engagement in general. Congratulations to Nelson Dias and all the others who contributed their time and energy.

When Citizen Engagement Saves Lives (and what we can learn from it)

When it comes to the relationship between participatory institutions and development outcomes, participatory budgeting stands out as one of the best examples out there. For instance, in a paper recently published in World Development,  Sonia Gonçalves finds that municipalities that adopted participatory budgeting in Brazil “favoured an allocation of public expenditures that closely matched the popular preferences and channeled a larger fraction of their total budget to key investments in sanitation and health services.”  As a consequence, the author also finds that this change in the allocation of public expenditures “is associated with a pronounced reduction in the infant mortality rates for municipalities which adopted participatory budgeting.”

Evolution of Expenditure Share in Health and Sanitation compared between adopters and non-adopters of PB (Goncalves 2013).

Evolution of  the share of expenditures in health and sanitation compared between adopters and non-adopters of participatory budgeting (Goncalves 2013).

Now, in an excellent new article published in Comparative Political Studies, the authors Michael Touchton and Brian Wampler come up with similar findings (abstract):

We evaluate the role of a new type of democratic institution, participatory budgeting (PB), for improving citizens’ well-being. Participatory institutions are said to enhance governance, citizens’ empowerment, and the quality of democracy, creating a virtuous cycle to improve the poor’s well-being. Drawing from an original database of Brazil’s largest cities over the last 20 years, we assess whether adopting PB programs influences several indicators of well-being inputs, processes, and outcomes. We find PB programs are strongly associated with increases in health care spending, increases in civil society organizations, and decreases in infant mortality rates. This connection strengthens dramatically as PB programs remain in place over longer time frames. Furthermore, PB’s connection to well-being strengthens in the hand of mayors from the nationally powerful, ideologically and electorally motivated Workers’ Party. Our argument directly addresses debates on democracy and well-being and has powerful implications for participation, governance, and economic development.

When put together, these findings provide compelling evidence for those who – often unfamiliar with the literature – question the effectiveness of participatory governance institutions. Surely, more research is needed, and different citizen engagement initiatives (and contexts) may lead to different results.

But these articles also bring another important takeaway for those working with development and public sector reform. And that is the need to consider the fact that participatory institutions (as most institutional reforms) may take time to produce desirable/noticeable effects. As noted by Touchton and Wampler:

 The relationships we describe between PB and health and sanitation spending, PB and CSOs, and PB and health care outcomes in this section are greater in magnitude and stronger in statistical significance for municipalities that have used PB for a longer period of time. Municipalities using PB for less than 4 years do exhibit lower infant mortality rates than municipalities that never adopted PB. However, there is no statistically significant difference in spending on health care and sanitation between municipalities using PB for less than 4 years and municipalities that never adopted the program. This demonstrates the benefits from adopting PB are not related to low-hanging fruit, but built over a great number of years. Our results imply PB is associated with long-term institutional and political change—not just short-term shifts in funding priorities .

If throughout the years participatory budgeting has produced  evidence of its effectiveness on a number of fronts (e.g. pro-poor spending), it is only 25 years after its first implementation in Brazil that we start to see systematic evidence of sound development outcomes such as reduction in infant mortality. In other words, rushing to draw conclusions at early stages of participatory governance interventions may result in misleading assessments. Even worse, it may lead to discontinuing efforts that are yet to bear fruit in the medium and longer terms.

10 Most Read Posts in 2013

Below is a selection of the 10 most read posts at DemocracySpot in 2013. Thanks to all of those who stopped by throughout the year, and happy 2014.

1. Does transparency lead to trust? Some evidence on the subject.

2. The Foundations of Motivation for Citizen Engagement

3. Open Government, Feedback Loops, and Semantic Extravaganza

4. Open Government and Democracy

5. What’s Wrong with e-Petitions and How to Fix them

6. Lawrence Lessig on Sortition and Citizen Participation

7. Unequal Participation: Open Government’s Unresolved Dilemma

8. The Effect of SMS on Participation: Evidence from Uganda

9. The Uncertain Relationship Between Open Data and Accountability

10. Lisbon Revisited: Notes on Participation